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DM

Daniel J. Mahoney

TRB CAPITAL MARKETS
DALLAS, TX 75201
Some features on this profile are disabled
CRD#: 5929343
DM

Professional summary

Daniel John Mahoney is a registered financial professional currently at TRB CAPITAL MARKETS, LLC located in Dallas, Texas.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2015. Daniel has worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 50, Series 52 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel John Mahoney's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 8, 2024 - Present

TRB CAPITAL MARKETS, LLC

Office #1: Plaza Of The Americas, South Tower 600 North Pearl Street, Suite 2100, Dallas, TX 75201
BD
CRD#: 322618
DALLAS, TX
Past

February 13, 2024 - September 30, 2024

ESTRADA HINOJOSA & COMPANY, INC.

BD
CRD#: 19299
DALLAS, TX
Past

June 29, 2022 - January 22, 2024

HILLTOP SECURITIES INC.

BD
CRD#: 6220
FORT WORTH, TX
Past

September 27, 2019 - June 6, 2022

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
DALLAS, TX
Past

June 17, 2016 - September 27, 2019

GEORGE K. BAUM & COMPANY

BD
CRD#: 36354
Dallas, TX
Past

January 29, 2015 - June 16, 2016

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
RICHMOND, VA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Texas
(8/8/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/5/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/8/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 50
Date: 2/13/2017
Municipal Advisor Representative Qualification Exam
General Industry/Product Exam
RR
Series 52
Date: 1/29/2015
Municipal Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/12/2025
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TC
TRB CAPITAL MARKETS, LLC
ESTRADA HINOJOSA | TRB CAPITAL MARKETS, LLC

CRD#: 322618 / SEC#: , 8-70999

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
6770 West Expressway 83, Harlingen, TX 78552
Mailing Address
6770 West Expressway 83, Harlingen, TX 78552
Phone number
(956) 682-2265
Established
Texas since 08/19/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (21 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TEXAS REGIONAL BANKOWNER
COULTER, ROBERT VINCENTCHIEF COMPLIANCE OFFICER/MUNICIPAL SECURITIES PRINCIPAL4211707
HEBERT, MICHAEL JAMESCOMPLIANCE OFFICER/VP/SROP1229298
HINOJOSA, NOE JRPRESIDENT - MUNICIPAL BANKING1782212
JOHNSON, KRISTY KAYFINOP4470948
TIPPIT, JOHN LEE IVCEO/PRESIDENT OF CAPITAL MARKETS5809446

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

TRB CAPITAL MARKETS, LLC

CRD#: 322618Dallas, TX 75201

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